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From those who set the standards, much is expected

August 17, 2019

As it states on its website,​ "the mission of the Certified Financial Planner Board of Standards Inc. is to benefit the public by granting the CFP certification and upholding it as the recognized standard of excellence for competent and ethical...

Brokerage industry groups dominate campaign spending out of the gate for 2020 cycle

August 16, 2019

Brokerage and insurance groups have dominated industry political spending in the first six months of the 2020 election cycle, but all the donors are seeking to make friends on both sides of the aisle. The Investment Company Institute ($695,750),...

Warning about insurance reserves at GE is relevant to all U.S. life insurers

August 16, 2019

Harry Markopolos shocked General Electric Co. investors Thursday when he accused the industrial giant of needing $29 billion more in funds for its insurance business. While GE disputed the charges, his analysis underscored how sweeping accounting...

Broker barred for excessive trading that cost clients $1.8 million

August 16, 2019

The brokerage industry's regulator has barred broker Gregory T. Dean from the industry for excessively trading customer accounts, which led to $1.8 million in losses for clients but generated hefty commissions for him. Mr. Dean, formerly registered...

SEC draws ire with indexed annuity misstep

August 16, 2019

This story has been updated with information from the Securities and Exchange Commission. The agency originally did not want to comment on the matter. The Securities and Exchange Commission caused concern among the financial advice and insurance...

New SEC videos aim to help investors identify brokers vs. investment advisers

August 15, 2019

Investors trying to decide whether to hire a broker or an investment adviser can now turn to the Securities and Exchange Commission's website, where the agency posted videos on Thursday designed to highlight the differences between them. The...

Atlanta firm alerts authorities about big loss on 'unauthorized' trades

August 15, 2019

IFS Securities, an Atlanta-based broker-dealer, said it suffered "substantial losses" because of what it called unauthorized transactions made by one of its highest-ranking employees, prompting the company to alert federal regulators. The firm...

SEC wins trial against former broker on insider trading charges

August 15, 2019

Jurors in Atlanta federal court have found former New Jersey broker Raymond J. Pirrello Jr. liable for insider trading in advance of three merger and acquisition transactions. [More:​ SEC bars Long Island broker for insider trading] Evidence...

Defining the standard for data stewardship

August 15, 2019

When I founded Envestnet almost 20 years ago, my vision for the company was clear: to help independent advisers and financial institutions deliver better outcomes to their clients through cloud-based technology and related services. Data aggregation...

We've got Americans back to work. Now let's help them retire.

August 14, 2019

The Tax Cuts and Jobs Act has unleashed historic economic growth for millions of Americans. Now is the time for Congress to act to consolidate these economic gains by securing retirement benefits for current and future retirees. According to...

The SECURE Act could mean big changes for advisers

August 13, 2019

While it's not surprising that the Setting Every Community Up for Retirement Enhancement (SECURE) Act is tangled in a political decision-making web, it's reassuring that the conversation about helping Americans save for retirement is still on...

This new tax rule could be a 'recession bomb'

August 13, 2019

A new rule imposed by the 2017 tax law could prove troublesome for businesses and their owners — as well as the broader economy — in the next recession. The tax law changed provisions around "net operating loss," a part of the tax code that...

Brokerage customers winning more Finra arbitration cases

August 13, 2019

The number of Finra arbitration cases has declined through the first half of the year, but customer victories have increased. Financial Industry Regulatory Authority Inc. arbitration statistics posted on the regulator's website show there were...

FSC Securities facing arbitration claim over REIT and VA sales

August 12, 2019

FSC Securities Corp., a broker-dealer in the Advisor Group network, is facing a potential multi-million dollar arbitration claim by 13 investors alleging that three brokers at the firm made unsuitable recommendations by loading up their portfolios...

CFP Board defends its enforcement program

August 12, 2019

CFP Board is at the forefront of advancing the financial planning profession with its certified financial planner certification and its enforcement program. However, recent articles from The Wall Street Journal have presented an unfair and incomplete...

Advisers may not be equipped to help clients navigate private markets

August 9, 2019

As the Securities and Exchange Commission considers easing rules surrounding investments in unregistered securities, financial advisers could find themselves as the gatekeepers between ordinary investors and the private market. In a recent letter...

Finra fines former broker $5,000 for trading in deceased clients' accounts

August 9, 2019

The Financial Industry Regulatory Authority Inc. has fined former broker Steve Baptist $5,000 and suspended him for 30 days for making six unauthorized trades in the accounts of two customers who were deceased at the time of the trades. (More:...

Wealthy clients likely missed out on pass-through tax deduction

August 8, 2019

Wealthy clients of financial advisers likely missed out on the lucrative new pass-through tax deduction in the most recent tax filing season. Of the more than 14 million taxpayers who claimed the pass-through deduction this year, the vast majority...

Finra widens window on exam cycle for some small firms

August 8, 2019

Finra will widen the examination cycle for some small brokerage firms, according to one of the regulator's board members. Robert A. Muh, chief executive of Sutter Securities, said in an interview that small firms with a "clean record" — those...

Texas 403(b) law causes adviser concern over investor protection

August 8, 2019

A Texas law taking effect next month is causing concern among some retirement plan advisers who are worried that the legislature has weakened investor protection for public schoolteachers in the state. The law — HB 2820, sponsored by Rep....

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